Director of Operations, Wealth Management (RIA)

Director of Operations, Wealth Management (RIA)Radnor, PA | Full-Time (Hybrid -3 days in office)Compensation: $80k-130k plus bonus DOEPlease note: Must have relevant RIA industry experience within an RIA with $200 million to $2 billion AUMOur client is a growing Registered Investment Advisor (RIA) firm seeking an experienced Director of Operations, Wealth Management (RIA) to oversee day-to-day operations, support advisors, and ensure a high level of client service, efficiency, and compliance. This role plays a key part in scaling the firm, improving processes, and maintaining strong operational and team performance.Key Responsibilities of the Director of Operations, Wealth Management (RIA):Operations & Process ManagementOversee daily firm operations, including account management, trading support, and client service workflowsDevelop, document, and optimize operational processes and standard operating proceduresIdentify inefficiencies and implement workflow and technology improvementsManage custodial relationships (e.g., Schwab, Fidelity, etc.)Ensure smooth coordination across advisors, client service, and operations teamsClient Service & Account AdministrationOversee account opening, transfers, money movements, and maintenanceEnsure timely and accurate client onboarding and service deliveryMaintain high service standards for clientsOversee CRM data integrity and usageOversee new account paperwork and manage Not-In-Good-Order (NIGO) processesRetirement Plan (401k) OperationsOversee onboarding and ongoing servicing of retirement plansOversee invoicing for 401(k) plans and ensure timely payment processingMaintain and update 401(k) files and Evault systemsManage Fi360 quarterly monitoring reports and maintain provider system connectivityEnsure the 401(k) team meets all service requirements, including APR delivery, education sessions, and meeting documentationLiaise with TPAs, recordkeepers, and plan sponsorsReview commission runs to verify accurate payments to the firm and advisorsEnsure compliance with plan administration requirements and regulatory standardsWealth Management OperationsRun and review weekly cash reports and coordinate with advisors and administrators on required tradesMaintain strong knowledge of account setup processes and platforms (FSP, UMA, APM, etc.)Manage distribution of terminated participant leads to advisorsReview and approve financial plans for advisorsSubmit and manage quarterly model updates for UMA accountsCompliance & Risk ManagementWork closely with the Chief Compliance Officer to ensure adherence to SEC and FINRA regulationsMaintain operational compliance with firm policies and proceduresAssist with audits, regulatory filings, and documentationMonitor and mitigate operational risksEnsure team compliance with licensing, continuing education, and regulatory requirementsTechnology & SystemsManage and optimize key systems (portfolio management, CRM, financial planning tools)Lead implementation of new systems or integrationsTroubleshoot operational technology issues and coordinate with vendorsTeam Leadership & Office ManagementSupervise and mentor operations and client service staffMonitor team performance and activity, identify gaps, and communicate expectationsConduct and support employee evaluations in partnership with leadershipCollaborate with management to set goals and prepare for team meetingsManage team attendance, PTO, and out-of-office approvalsApprove business development activities, including networking and travelProvide weekly activity and performance reports to leadershipSupport overall team accountability and progress toward firm goalsOversee third-party vendors and appointment setters, including tracking credits and cancellationsReporting & Business SupportProduce operational and business performance reports for leadershipAssist with budgeting, vendor management, and cost controlsSupport business development initiatives and firm growthTrack activity, performance metrics, and operational KPIsQualifications of the Senior Operations Manager:5 to 10+ years of experience in a Registered Investment Advisor (RIA) or wealth management operationsStrong understanding of investment advisory operations and custodial platformsExperience with 401(k) or retirement plan administration preferredKnowledge of SEC regulations and compliance frameworksProven ability to manage workflows, systems, and teamsStrong organizational, analytical, and problem-solving skillsExcellent communication skills and leadership abilityExperience with CRM and financial systems (Salesforce, eMoney, etc.) preferredWhat’s in It for You?• Base salary commensurate with experience, plus bonus potential• Comprehensive benefits package including company-paid medical, dental, and vision coverage, along with a 401(k) match• Generous paid time off• Flexible hybrid work schedule (3 days per week in office)• Opportunity to join a thriving wealth management firm• Collaborative culture that values new ideas with a great team!